Robert L. Wyks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Louis Wyks, who also goes by Bob Wyks, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 19 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2020 - August 14, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 7, 2020 - August 14, 2024
FIDELITY BROKERAGE SERVICES LLC
January 8, 2018 - January 28, 2020
USAA INVESTMENT SERVICES COMPANY
November 20, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
November 11, 2014 - January 28, 2020
USAA FINANCIAL ADVISORS, INC.
January 23, 2014 - October 20, 2014
FIFTH THIRD SECURITIES, INC.
January 23, 2014 - October 20, 2014
FIFTH THIRD SECURITIES, INC.
September 25, 2012 - January 10, 2014
LPL FINANCIAL LLC
September 24, 2012 - January 10, 2014
LPL FINANCIAL LLC
September 28, 2009 - October 8, 2010
MORGAN STANLEY
September 3, 2009 - October 8, 2010
MORGAN STANLEY
March 3, 2008 - May 28, 2008
TRUIST INVESTMENT SERVICES, INC.
March 3, 2008 - May 28, 2008
TRUIST INVESTMENT SERVICES, INC.
May 9, 2007 - March 13, 2008
E*TRADE SECURITIES LLC
March 3, 2006 - April 9, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 3, 2006 - April 9, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 21, 2004 - August 9, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 9, 2004 - August 9, 2005
TIAA-CREF TRUST COMPANY, FSB
August 9, 2004 - August 9, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 9, 2004 - July 15, 2004
CITISTREET FINANCIAL SERVICES LLC
January 9, 2004 - July 15, 2004
CITISTREET EQUITIES LLC
October 23, 2002 - November 24, 2003
CHARLES SCHWAB & CO., INC.
June 6, 2002 - November 24, 2003
CHARLES SCHWAB & CO., INC.
September 2, 1999 - December 31, 2001
HARRISDIRECT LLC
August 19, 1994 - July 8, 1999
UBS FINANCIAL SERVICES INC.
December 23, 1985 - September 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
